SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News/Statements


  Litigation

  ALJ

  Information for...

  Divisions


Comments on NASDAQ Rulemaking

Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto to Reestablish a Quotation and Trading System for Securities That are Designated by The PORTAL® Market as PORTAL Securities

(Release No. 34-55669; File No. SR-NASDAQ-2006-065)


Jul. 23, 2007 Thomas P. Moran, Associate General Counsel, The Nasdaq Stock Market, Inc.
Jul. 18, 2007 William Ginivan, General Counsel, Friedman, Billings, Ramsey Co., Inc., Arlington, Virginia
Jun. 28, 2007 Thomas P. Moran, Associate General Counsel, NASDAQ Stock Market, LLC
May 30, 2007 Mary C.M. Kuan, Managing Director and Assistant General Counsel, Securities Industry and Financial Markets Association
May 25, 2007 Deborah L. Wince-Smith, Council on Competitiveness
May 24, 2007 James J. Angel, Georgetown University
May 22, 2007 Lezlee Westine, President CEO, TechNet, Washington, District of Columbia
May 22, 2007 William J. Ginivan, General Counsel, Friedman, Billings, Ramsey & Co, Inc.
May 18, 2007 Edward A. Kwalwasser, Senior Counsel, Proskauer Rose LLP
May 9, 2007 John J. McGuire, Jr., Morgan Stanley, Westchester, New York

 

http://www.sec.gov/comments/sr-nasdaq-2006-065/nasdaq2006065.shtml

Modified: 10/16/2014